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Prevent Contractor from Approaching Clients

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									                         Your Guide to
                         Health, Safety
                          and Welfare




   Kent County Council


Management of
 Contractors
Guidance Notes & Forms




                         Third Edition -
                          August 2007
KCC Safety Rules for Contractors




                                                       Page 1 of 34
                                   Management of Contractors : Guidance Notes and Forms
                                                                                          Third Edition –
                                                                                           August 2007
                                        Introduction
Contractors are used extensively throughout Kent County Council (KCC). Such
contractor activities may include: major building projects, refurbishment, maintenance,
installation, repairs, contracted in services such as cleaners, etc. Following the
evolvement of legislation and in the interests of continuous improvement, a small group of
cross directorate personnel were tasked with reviewing and providing new guidelines for
the Control of Contractors.

KCC is committed to the health, safety and welfare of its employees and recognises the
duty of care owed to others not in its employment. In turn it also recognises the duty of
care owed by others to our employees while working on our premises.

To help establishments meet with legal requirements and to prevent accidents and injury
to all concerned, this document is intended to provide a useful tool for the management of
contractors.


The guidance notes include information on:

     The Construction Design and Management Regulations, when they apply and
      what is required.
     The vetting and selection of contractors regardless of what work they may be
      required to carry out. It is important to ensure checks are made to ensure that
      contractors are properly qualified, have the necessary skills to carry out the work
      and are competent in assessing risks and applying good health and safety
      practices.
     How to manage and work with contractors throughout the project. This includes
      the planning stage, standards and arrangements, while working on site, on work
      completion and what to do if things go wrong.
     The appendices provide some additional advice and the tools which are to be used
      for the effective management of contracted work.


Review of these arrangements will fall within the general requirement applicable to all
Health & Safety policies, ie. implementation and development will be kept under review
through the Health & Safety Group. Relevant issues will be drawn to the attention of the
Corporate Health and Safety Board and KCC‟s Joint Health & Safety Committee as
appropriate.

The current version will always be available through “SafetyNet” from the KNet Website
and in “Clusterweb” for schools.

For any further information or guidelines, you should consult with your Health & Safety
Adviser or Property Group (Maintenance and Minor Works).




                                     Page 2 of 34
                   Management of Contractors : Guidance Notes and Forms
                                                                               Third Edition -
                                                                                August 2007
Note for Schools

This Guide applies to KCC Maintained schools and education establishments, though it
may be useful to other schools (such as Foundation, Voluntary Aided and Voluntary
Controlled). Any school staff at KCC schools who manage contractors should follow the
guidance. Where KCC is funding capital projects, these must be brought to the
Childrens, Families and Education (CFE) Directorate’s Property Board to decide whether
the school will be allowed to self-manage or whether it will be managed centrally by
KCC’s Property Group. (Further advice on the Property Board is available from your
Accommodation Development Manager at KCC).

However, even on KCC-managed projects, it will be useful for the key staff at the school
with whom the contractors need to work with, eg. Bursar / Business Manager / Site
Manager to be aware of their general responsibilities for Health & Safety as outlined in
this Guide.




Acknowledgements:
This document was produced and updated by cross directorate co-operation and input
through a working group comprising the following personnel:-
Carole Shepherd, Health & Safety Adviser, Kent Adult Social Services
Sally Anne Clark, Health & Safety Manager, Children, Families and Education
Flavio Walker, Health & Safety Manager, Environment, Regeneration and Communities
Lynn Keeley, Technical Services Officer, Corporate Services
Terry Whitlock, Contract Manager, Chief Executive‟s Department
Terry Hurley, Contract Manager, Chief Executive‟s Department




                                     Page 3 of 34
                   Management of Contractors : Guidance Notes and Forms
                                                                             Third Edition -
                                                                              August 2007
         Management of Contractors: Guidance Notes & Forms
                                                                                                               Page No.

1.   Construction Design & Management (CDM) Regulations 2007
     Do they apply to you?
        Responsibilities of Duty Holders .......................................................                   6
        Types of Works included ...................................................................                8

2.   Vetting & Selection of Contractors (all including non-construction)
       Definition of Contractor.......................................................................             10
       KCC Property Group – Responsibilities .............................................                         10
       Preferred Contractors Database ........................................................                     11
       Employment of Contractors not on the Preferred Database ...............                                     11
       Construction Skills Certification Scheme ............................................                       12
       Consultants – KCC Approved Consultants.........................................                             12
       Use of Specialist Contractors .............................................................                 13

3.   Notes for Managers of Establishments / Schools
       Responsibilities of Establishment Managers ......................................                           14
       Employment of Contractors ................................................................                  14
       Issues for the manager to consider before approaching the
       Contractor ..........................................................................................       15
       Items to look for in the Method Statement or Risk Assessment .........                                      16

4.   Working with Contractors on Site
       Legal Obligations ..............................................................................            18
       Contractors Selection Criteria ...........................................................                  18
       Pre-requisites to signing the Contract or assigning work ..................                                 18
       Commencement of the Contract .......................................................                        18
       Safe Working Permit ........................................................................                19
       Safety Code for Contractors .............................................................                   19
       Emergency Evacuation Procedure....................................................                          19
       During Contract .................................................................................           20
       End of Contract .................................................................................           21
       When things go wrong ......................................................................                 21

5.   Appendices
       A - The RIBA Plan of work stages 1999 ......................................                                22
       B - Construction (Design & Management) Regulations 2007 ......                                              23
       C - Guidance for assessing competence of a CDM co-ordinator .                                               26
       D - Requirements of a CDM Notifiable Project – flowchart .........                                          27
       E - Pre-contract- locally employed Contractor check list ..............                                     29
       F - Control of Contractors Safe working permit............................                                  30
       G - Management of Contractors Flowchart ..................................                                  31
       H - Contractor Risk Assessment Letter .......................................                               32
       I(a) - Letters sent by Corporate Property to Contractors .................                                  33
       I(b) - who fail to meet requirements ................................................                       34



                                         Page 4 of 34
                       Management of Contractors : Guidance Notes and Forms
                                                                                                                Third Edition -
                                                                                                                 August 2007
                           CDM Regulations – Do they apply to you?



      Construction Design & Management (CDM) Regulations 2007
                      DO THEY APPLY TO YOU?

The CDM Regulations were issued in 1994 and now updated in 2007 to help co-ordinate
and make construction projects safer. The regulations are primarily about communication
of essential information between interested parties. Failure to identify that a project is a
CDM project and to take appropriate actions is a criminal offence.

The effort devoted to planning and managing health and safety should be in proportion to
the risks and complexity associated with the project. When deciding what you need to do
to comply with these Regulations, your focus should always be on action necessary to
reduce and manage risks. Any paperwork produced should help with communication and
risk management. Paperwork which adds little to the management of risk is a waste of
effort, and can be a dangerous distraction from the real business of risk reduction and
management

For all construction projects, parts 1 and 2 of the Regulations will apply. Some projects
will be notifiable to the HSE on a specific form (F10), and in these cases all of the
regulations will be applied to the project. Notifiable projects include:


      a) construction work which will take longer than 30 days
      b) construction work which will involve more than 500 „person days‟


Construction work relates to all aspects of a project from its inception, including design
and planning prior to the construction phase.

Some projects may not be notifiable to the HSE but will still fall under the general
principles of the CDM Regulations and will require CDM action.

Who are the clients and what do they do?

A client is an organisation or individual for whom a construction project is carried out.
Clients only have duties when the project is associated with a business or other
undertaking (whether for profit or not). This can include for example, local authorities,
school governors, insurance companies and project originators on Private Finance
Initiative (PFI) projects. Domestic clients are a special case and do not have duties under
CDM 2007.

The client has one of the biggest influences over the way a project is run. They have
substantial influence and contractual control and their decision and approach determine:

      (a)    the time, money and other resources available for projects;
      (b)    who makes up the project team, their competence, when they are appointed
             and who does what;
      (c)    whether the team is encouraged to co-operate and work together
             effectively;
                                      Page 5 of 34
                    Management of Contractors : Guidance Notes and Forms
                                                                                 Third Edition -
                                                                                  August 2007
                                                                 CDM Regulations – Do they apply to you?


                                          (d)     whether the team has the information that it needs about the site and any
                                                  existing structures;
                                          (e)     the arrangements for managing and co-ordinating the work of the team.

The Regulations recognise that many clients know little about construction health and
safety, so clients are not required or expected to plan or manage projects themselves.
Nor do they have to develop substantial expertise in construction health and safety,
unless this is central to their business. Clients must ensure that various things are done,
but are not normally expected to do them themselves.

The responsibilities of the various duty holders are outlined below:

                                                All construction projects (Part 2 of the       Additional duties for notifiable projects
                                                Regulations)                                   (Part 3 of the Regulations)
                                                     Check competence and resources                Sign form F10
                                                        of all appointees                           Appoint CDM co-ordinator*
                                                     Ensure there are suitable                     Appoint principal contractor*
   Clients (excluding domestic clients)




                                                        management arrangements for the             Make sure that the construction phase
                                                        project including welfare facilities           does not start unless there are
                                                     Allow sufficient time and resources              suitable:
                                                        for all stages                                          Welfare facilities, and
                                                     Provide pre-construction                                  Construction phase plan in
                                                        information to designers and                            place
                                                        contractors                                 Provide information relating to the
                                                                                                       health and safety file to the CDM co-
                                                                                                       ordinator
                                                                                                    Retain and provide access to the
                                                                                                       health and safety file
                                                                                                       *(There must be a CDM co-ordinator
                                                                                                       and principal contractor until the
                                                                                                       end of the construction phase)
                                                                                                    Advise and assist the client with
                                                                                                       his/her duties
                                                                                                    Notify HSE via F10
                                                                                                    Co-ordinate health and safety aspects
                                                                                                       of design work and co-operate with
                                                                                                       others involved with the project
                                                                                                    Facilitate good communication
   CDM co-ordinators




                                                                                                       between client, designers and
                                                                                                       contractors
                                                                                                    Liaise with principal contractor
                                                                                                       regarding ongoing design
                                                                                                    Identify, collect and pass on pre-
                                                                                                       construction information
                                                                                                    Prepare/update health and safety file
                                                       Eliminate hazards and reduce risks          Check client is aware of duties and
                                                        during design                                  CDM co-ordinator has been appointed
   Designers




                                                       Provide information about                   Provide any information needed for the
                                                        remaining risks                                health and safety file




                                                                                  Page 6 of 34
                                                              Management of Contractors : Guidance Notes and Forms
                                                                                                                               Third Edition –
                                                                                                                                August 2007
                                        CDM Regulations – Do they apply to you?


                        All construction projects (Part 2 of the      Additional duties for notifiable projects
                        Regulations)                                  (Part 3 of the Regulations)
                                                                           Plan, manage and monitor
                                                                              construction phase in liaison with
                                                                              contractor
                                                                           Prepare, develop and implement a
                                                                              written plan and site rules. (Initial plan
                                                                              completed before the construction
                                                                              phase begins)
                                                                           Give contractors relevant parts of the
                                                                              plan
                                                                           Make sure suitable welfare facililties
                                                                              are provided from the start and
                                                                              maintained throughout the construction
                                                                              phase
                                                                           Check competence of all appointees
Principal contractors




                                                                           Ensure all workers have site inductions
                                                                              and any further information and
                                                                              training needed for the work
                                                                           Consult with the workers
                                                                           Liaise with CDM co-ordinator regarding
                                                                              ongoing design
                                                                           Secure the site

                              Plan, manage and monitor own                  Check client is aware of duties and a
                               work and that of workers                       CDM co-ordinator has been appointed
                              Check competence of all their                  and HSE notified before starting work
                               appointees and workers                        Co-operate with principal contractor in
                              Train own employees                            planning and managing work, including
                              Provide information to their workers           reasonable directions and site rules
                              Comply with the specific                      Provide details to the principal
                               requirements in Part 4 of the                  contractor of any contractor whom he
                               Regulations                                    engages in connection with carrying
                              Ensure there are adequate welfare              out the work
                               facilities for their workers                  Provide any information needed for the
                                                                              health and safety file
                                                                             Inform principal contractor of problems
Contractors




                                                                              with the plan
                                                                             Inform principal contractor of
                                                                              reportable accidents, diseases and
                                                                              dangerous occurrences
                              Check own competence
                              Co-operate with others and co-ordinate work so as to ensure the health and safety of
                               construction workers and others who may be affected by the work
                              Report obvious risks
                              Comply with requirements in Schedule 3 and Part 4 of the Regulations for any work
Everyone




                               under their control
                              Take account of and apply the general principles of prevention when carrying out
                               duties




                                                          Page 7 of 34
                                      Management of Contractors : Guidance Notes and Forms
                                                                                                          Third Edition –
                                                                                                           August 2007
                         CDM Regulations – Do they apply to you?



For most KCC projects, KCC will be the client, not a named individual or part of the
organisation. It is important that anybody taking on the client role is confident that they
are competent and able to undertake the responsibilities outlined in the table above. IT
IS STRONGLY RECOMMENDED THAT ADVICE IS OBTAINED FROM PROPERTY
GROUP BEFORE ORGANISING AND COMMISSIONING ANY CONSTRUCTION
WORK INDEPENDENTLY AT A KCC SITE. FAILURE TO MAKE APPROPRIATE
ARRANGEMENTS TO COMPLY WITH CDM COULD RESULT IN DUTIES
DEFAULTING TO THE CLIENT AUTOMATICALLY.

The client is responsible for ensuring the competence of all duty holders involved in a
project, co-ordinator, designer, principal contractor and sub-contractors – including the
client themselves. Vetting competence can be a complex activity and competence
criteria need to be established early. It is reasonable for a client to seek assistance on
vetting duty holders from the CDM co-ordinator. Competence criteria for the appointment
of a CDM co-ordinator are outlined in Appendix C of this document.

Note for Schools

      Where KCC is funding capital projects at schools, these must be brought to the
      CFE Directorate’s Property Board at the Outline Stage C on the RIBA Plan
      (Appendix A) at the latest.



The types of works which are within the remit of these regulations are:



a.    The construction , alteration, conversion, fitting out, commissioning, renovation,
      repair, upkeep redecoration or other maintenance (including cleaning which
      involves the use of water or an abrasive at high pressure or the use of corrosive or
      toxic substances), de-commissioning, demolition or dismantling of a structure;

b.    The preparation for an intended structure, including site clearance, exploration,
      investigation (but not site survey) and excavation, and the clearance or preparation
      of the site or structure for use or occupation at its conclusion;

c.    The assembly on site of prefabricated elements to form a structure or the
      disassembly on site of prefabricated elements which, immediately before such
      disassembly, formed a structure;

d.    The removal of a structure or of any product or waste resulting from demolition or
      dismantling of a structure or from disassembly of prefabricated elements which
      immediately before such disassembly formed such a structure; and

e.    The installation, commissioning, maintenance, repair or removal of mechanical,
      electrical, gas, compressed air, hydraulic, telecommunications, computer or similar
      services which are normally fixed within or to a structure.


                                           Page 8 of 34
                       Management of Contractors : Guidance Notes and Forms
                                                                               Third Edition –
                                                                                August 2007
                        CDM Regulations – Do they apply to you?




NOTE:       Any person assuming the role of project manager should follow the
            necessary procedures, see appendices for further information:


Appendix A - The Royal Institute of British Architects (RIBA) Plan of Work
             Stages, which outlines the standard procurement requirements.
Appendix B - Construction ( Design & Management ) Regulations 2007.
Appendix C - Guidance for assessing competence of a CDM co-ordinator.
Appendix D - Requirements of a CDM project - flowchart.




                                         Page 9 of 34
                     Management of Contractors : Guidance Notes and Forms
                                                                             Third Edition –
                                                                              August 2007
                              Vetting & Selection of Contractors



     Vetting & Selection of Contractors (all including non-construction)
1.     Definition of Contractor

       According to the HSE Booklet „Use of Contractors - A Joint Responsibility‟, a
       contractor is anyone brought in by a client to work at the client‟s premises who is
       not an employee of the client.

       Therefore anyone entering KCC premises for the purpose of carrying out work, or
       who provides goods or services, specialised or otherwise, for the client, owner or
       occupier must be regarded as a “contractor” - to whom duties are owed and who,
       in turn, owes duties in respect of health and safety.

       Contractors would therefore include building, construction and maintenance
       workers, caterers, window cleaners, agency staff, equipment repairers, delivery
       drivers, service staff and consultants (eg. IS, training, management). By virtue of
       the hazardous nature of construction-related contracting compared with general
       consultancy work, this document tends to concentrate on those higher risk areas,
       however many of the principles still apply to other areas of lower risk.

       The Insurance and Risk Management Section confirm that volunteers such as
       Parent / Teacher Associations (PTAs) etc. are covered under KCC's insurance
       policies, as long as the work is controlled and supervised by a responsible KCC
       employee.

       NOTE: Schools must inform the Insurance and Risk Management Section of any
       work that is going to be undertaken by volunteers, prior to starting work.

       Other volunteers, such as those who might work in Country Parks or within Kent
       Adult Social Services etc., are also covered, however there is no need to inform
       Insurance and Risk Management Section of such arrangements.

2.     KCC Property Group – Responsibilities

       The Property Group is responsible for ensuring KCC‟s building estate is managed
       efficiently, cost-effectively and meets legislative requirements. This includes
       procuring and providing advice for the following services:

            Building Design
            Building Maintenance
            Estates Management
            Landscape and Trees
            Facilities Management

       The Property Group‟s Consultants and Preferred Contractors database are
       continually monitored to ensure the service they provide meets the stringent
       performance and quality standards set.


                                     Page 10 of 34
                   Management of Contractors : Guidance Notes and Forms
                                                                               Third Edition -
                                                                                August 2007
                            Vetting & Selection of Contractors


3.   Preferred Contractors Database

     The KCC Preferred Contractors Database (Formerly known as 'The Approved and
     Select List of Contractors') is managed by KCC‟s Property Group and is designed
     to ensure that contractors used by the Authority deliver the best possible
     contracting services for KCC buildings. The database can be accessed through
     the website:

     www.kent.gov.uk/property

     All contractors named on the database have been subject to a number of rigorous
     checks. Most importantly they have had to demonstrate:

          Financial standing
          Relevant Insurances
          Tax Certification
          Quality Approval Certification and Trade Association information
          Health & Safety and Environmental Policies

     KCC‟s Property Group monitors the performance of all contractors on the
     database. However should any contractor consistently fail to meet satisfactory
     levels of service and workmanship, they will be removed. Feedback is encouraged
     and can be given by email:

     property.feedback@kent.gov.uk

4.   Employment of Contractors not on the Preferred Database

     Officers procuring building projects on behalf of KCC should use contractors from
     the KCC Preferred Contractor‟s Database, however, should an officer wish to use
     a contractor not currently included, it should be possible to include them on one-off
     projects. Contact the Property Group for more information.

     Some establishments, such as Kent Adult Social Services and Schools, are not
     bound to the use of contractors from the database. If intending to use a contractor
     not currently included, the vetting service can be accessed (as above). But if
     establishments wish to proceed with their own checking process, they or their
     professional advisers, must ensure that their chosen contractor possesses:

          Public Liability Insurance. KCC requires contractors to hold a minimum
           indemnity of £5million for any one event.

          Employer‟s Liability insurance which meets statutory obligations.

          Professional Indemnity insurance, if considered necessary given the
           nature of the contract. This should be held by contractors at a level
           which is a realistic reflection of the potential value of a claim for financial
           loss as a result of negligent advice.

          A Tax Exemption Certificate (for construction work only)
                                        Page 11 of 34
                     Management of Contractors : Guidance Notes and Forms
                                                                                 Third Edition –
                                                                                  August 2007
                            Vetting & Selection of Contractors


          Adequate financial credentials for the size of the project

          An appropriate Health & Safety policy (which must be in writing for those
           employing 5 people or more)

     The checklist at Appendix E is a useful guide for checking the credentials of the
     contractor and ensuring that they are competent to carry out the works.

     It is strongly recommended that contractors are added to the list to ensure
     consistency and safety of approach and to ensure they have the correct
     checks carried out.

     Note for Schools

     Where KCC is funding capital projects, these must be brought to the Children
     Families & Education Directorate’s Property Board to decide whether the school
     will be allowed to self-manage or whether it will be managed centrally by KCC’s
     Property Group. Any capital works at KCC schools must also follow the
     requirements of the KCC Constitution in respect of tendering, and large projects
     must also adhere to OJEU requirements. Further advice can be obtained from
     KCC’s Property Group.

     Most Voluntary Aided schools are supported by a Diocesan Board and have
     access to their own consultants and approved contractors. Aided schools may, on
     occasions, wish to make use of the KCC Preferred Contractors Database for their
     own projects, and are of course free to do so.

5.   Construction Skills Certification Scheme ( CSCS )

     One way of checking the competence of contractors is the use of the CSCS. This
     is linked to the Government‟s initiative to raising standards of workmanship and
     health and safety in the construction industry with a view to including the
     requirements as part of the vetting process for the contractors‟ database. The
     scheme identifies suitably trained personnel by the use of an identity card. The
     information is held centrally and includes at present >150 different trades. There
     are also other similar schemes for Plant Operators, Scaffolders etc.

6.   Consultants

     KCC Approved Consultants

     The role of the consultant is to act as an intermediary or agent to ensure all
     legislative requirements are met and to administer the work on KCC‟s behalf.

     Building Design, Building Maintenance, Estate Management and Environmental
     Consultancy Services are now delivered via the external market under a
     contractual basis with KCC‟s Property Group.




                                        Page 12 of 34
                     Management of Contractors : Guidance Notes and Forms
                                                                            Third Edition –
                                                                             August 2007
                                Vetting & Selection of Contractors


        Building maintenance is delivered on a „Zone‟ basis.
        For Zone 1 (West Area) services are delivered by Faber Mounsell
        For Zone 2 (Mid Area) services are delivered by Mouchel Parkman.
        For Zone 3 (East) services are delivered by NPS Ltd.
        For more information please contact Maintenance and Minor Works Team,
        Property Group.
        Environmental consultancy is currently delivered by Jacobs and will be re-let in
        2008. For more information please contact Maintenance and Minor Works Team,
        Property Group.
         KCC‟s Property Group has also established 'Framework Agreements' for the
        provision of Professional Consultancy Services. This is in effect, an 'approved list'
        of property-related consultants and is held centrally by KCC‟s Property Group.
        For more information on the Framework Agreement, please refer to the website:
               www.kent.gov.uk/property
        It is strongly recommended that if external consultants are required, then a
        Framework Agreement consultant is used, as consultants rates have been
        competitively tendered (negating the need to seek competitive fee tenders, in
        accordance with the KCC Constitution), and all relevant insurances will have been
        checked.

        If an external consultant is used, a minimum of £5m professional indemnity
        must be in place in line with the KCC Constitution.

7.      Use of Specialist Contractors
        It is important that when new mechanical or electrical equipment is installed as one
        off‟s or as part of projects, they are correctly maintained. Sometimes this can
        involve annual checks, or sometimes it can mean entering into a service
        agreement with the installing companies. Property Group run countywide PMA
        contracts for statutory obligations for example gas servicing, however for minor
        electrical equipment there may not be access to PMA.
        Some of the installers may not be on the KCC list, but it may only be the installer
        who will guarantee the service or has access to the parts. There is a need to
        ensure correct insurance, public liability etc, but more often than not they will be
        reputable companies who provide equipment across KCC. If you are in any doubt
        please contact Property Group for further advice.
        An example of the above would be when a particular contractor has installed
        automated doors, a servicing contract may only be available, or may be more
        beneficial through the installing contractor. In this instance it is advisable to seek
        quotes from this contractor using the above advice
     Note:
     Where managers are concerned about the level of Health & Safety Management, an
     external audit is available at a cost through the Property Group. Contact Property
     Group for more information.

                                            Page 13 of 34
                         Management of Contractors : Guidance Notes and Forms
                                                                                  Third Edition –
                                                                                   August 2007
                     Notes for Managers of Establishments/Schools



           Notes for Managers of Establishments / Schools

1.   Responsibilities of Establishment Managers

     In summary, managers‟ duties and responsibilities are:

     1.    To ensure the employment of suitable contractors either through a
           consultant or direct.

     2.    To ensure the completion of risk assessments and safe systems of work as
           applicable, including those relating to your staff if the service continues to
           operate.

     3.    To ensure the completion of the control of contractors safe working permit
           forms, as required, by competent and authorised personnel.

     4.    To ensure that contracted work is conducted in accordance with all agreed
           safety precautions as far as is reasonably practicable

     5.    To suspend work if serious breaches in safety requirements occur.

     6.    With respect to any refurbishment / building programme, to determine to
           what extent the building can remain open. Consideration must be made
           regarding the safety of the continued provision of service.

     Note – The Property Group must be kept informed of changes/alterations to
     properties. Examples: demolition of building and the changes to associated
     planned maintenance agreements; automatic doors removed/installed;
     building of an extension etc. As a result of not informing the Property Group
     unnecessary costs may be incurred.

     A flowchart for the Management of Contractors is available at Appendix G.


2.   Employment of Contractors

     You are strongly advised to use a contractor from the KCC Preferred list because
     the following checks on contractors are made:

          Financial standing
          Relevant insurances
          Tax certification
          Health & Safety and Environmental Policies

     Whichever contractor you choose, they should be able to provide you with
     documentation such as a method statement or a risk assessment, unless the
     job carries negligible risk.
                                   Page 14 of 34
                 Management of Contractors : Guidance Notes and Forms
                                                                              Third Edition -
                                                                               August 2007
                    Notes for Managers of Establishments/Schools


     A method statement is required for a project with a number of complex factors,
     where the health and safety issues across a range of tasks must be managed
     concurrently.

     Examples where method statements are required, are projects which contain any
     or a mix of the following:

          Electrical work involving live conductors
          Gas pipework / fitting / installation
          Roof work / work at height
          Hot work
          Water system changes
          Altering the fabric of the building (where asbestos may be disturbed)
          Underground work (cables or pipes may be disturbed)
          Building extension work
          Replacing flooring
          Tree Surgery

     A Risk Assessment is legally required and should always be provided. Further
     guidance on Risk Assessment is available on “SafetyNet”. (Schools can access
     SafetyNet via the Health and Safety page on Clusterweb.)
     Consider risk assessments for the following examples:-( NB not a comprehensive
     list:-)

          Decorating, painting, plastering
          Woodwork, eg. putting up shelves
          Plumbing, eg. putting in new sink
          Lift maintenance
          Repairing doors
          Cleaning windows
          Pest control
          Fitting a new washer on a tap
          Repairing the photocopier
          Changing light bulbs
          Moving furniture
          Reorganising work space
          Unblocking the toilet

3.   Issues for the manager to consider before approaching the Contractor

     a)    How will the work be supervised, and by whom?

     b)    What are the risks likely to be posed by people on your site?
           eg. children running into ladders.

     c)    What are the likely risks from activities on your site?
           eg. catering staff turning the gas tap back on before gas work is completed.


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                     Notes for Managers of Establishments/Schools


     d)    Will you or the contractor provide welfare facilities?
           eg. water, toilets, first aid, refreshment facilities, smoking restrictions.

     e)    Can the service continue to be provided safely while the contractor‟s work is
           being undertaken?

     f)    What areas will the contractor be restricted from entering?

     g)    What will the signing in and out, security and locking up arrangements be?

     h)    Have you identified all the work you want the contractor to do, including
           preparation and completion activities?
           eg. removing unwanted furniture from a hut to be demolished.

     i)    Have you identified additional work required as a result of completing your
           initial project?
           eg. additional paths may require additional lighting to comply with current
           legislation.

     j)    Is there any other Health & Safety information that you need to make
           available to the contractor?

     k)    How will you assess the contractor‟s competence? (if not from the KCC
           Approved list)


4.   Items to look for in the Method Statement or Risk Assessment

     The key feature of Method Statements is that they provide an outline and
     sequence of how the work will be carried out under the control of the contractor.
     Method Statements usually contain more detail than Risk Assessments. They are
     activity-specific and site-specific, detailed and contain the sequence in which the
     work will be done.

     Just as you, as a client, have a legal duty to alert the contractor to risks posed by
     your occupiers, the contractor also has a duty to alert you to the risks to your
     occupiers from the work being carried out.

     Before your contractor starts work, you should study their Method Statement or
     Risk Assessment to check any impact on your work activities.

     The guidance in the KCC Working Rules for Contractors on Site section will help
     you with what to look for.




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                       Notes for Managers of Establishments/Schools

Expect to see that your contractor has considered the following:

 Emergency planning        Including fire evacuation arrangements and how these link
                           into your fire safety plan. While job is in progress there may
                           be issues around emergency exits, fire fighting equipment,
                           missing call points and available muster areas.
 Asbestos                  The possibility of asbestos on your premises. You will need
                           to draw to the attention of all contractors your asbestos
                           register, and ask them to sign the asbestos “docubox” log
                           sheet and safe working permit where appropriate.
 Plant & equipment         The plant and equipment they will use. Its storage, security,
                           electrical safety; any hazards from the equipment such as
                           noise, dust and sparks, and how the risks will be controlled.
 Safe access & egress      To/ from the workplace.
 Vehicles                  Movement of vehicles and parking on site.
 The substances to be Their storage, security; any hazards from the substances
 brought onto site         such as fumes, oil, vapours, spills and fire, and how these
                           risks will be controlled (COSHH Assessment).
 Environment               The environment the contractor will be working in such as a
                           confined space, under high voltage cables, outside or inside,
                           and arrangements for access.
 Risk Assessments          Completion of specific Risk Assessments for high risk
                           activities as listed in Appendix F.
 Permit to Work/Safe Whether a permit to work for specific hazardous operations
 working permit            will be needed and how this will be authorised, and managed.
 Housekeeping              Housekeeping arrangements such as disposal of waste,
                           keeping work areas separate from occupiers and tidying up at
                           the end of the day.
 Accident/Incident         Accident and first aid arrangements for their staff.
 procedures
 Welfare arrangements Provision of toilet and washing facilities etc.
 Personal       Protective What personal protective equipment they will expect their
 Equipment (PPE)           staff to use, such as hard hats, gloves, safety shoes or
                           goggles.
 Sub-contractors           Arrangements for liaison with sub-contractors, if used.
 Liaison                   Arrangements for liaison with the manager of the premises
                           and other relevant staff, also co-operation and co-ordination
                           with any other employers on the premises.
 Segregation               Segregation of the works from members of the public,
                           employees, etc.
 Monitoring                Arrangements for monitoring / supervision.
 Handing back              Arrangements for a handing back procedure when the work is
 responsibility            finished, so that someone checks that everything is
                           satisfactory before the contractor leaves the site.

NB: Some of the items above may be missing from the contractor’s risk assessment or
method statement. The level of detail required will depend on the level of risk from the
work to be carried out. If you are not sure about the significance of an issue contact your
Health & Safety Adviser or Maintenance and Minor Works Team,Property Group in the
first instance.
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                        KCC Working Rules for Contractors on Site



                               Working with Contractors on Site


1.   Legal Obligations

     Contractors have duties both in Civil and Criminal Law not to expose their own
     employees or any other person to Health and Safety risks. Where contractors are
     carrying out building construction or engineering work on Council premises there
     are many legislative requirements. This may include, for example, The Health and
     Safety at Work Act 1974, The Management of Health and Safety at Work
     regulations 1999, The Construction (Design and Management) Regulations 2007,
     Control of Substances Hazardous to Health Regulations 2002 as amended
     (COSHH), Duty of Care (Environmental Protection) Act 1990 for waste disposal.
     Suitable personal protective equipment (PPE) must be worn by all contractors‟
     personnel, etc. The information within these guidance notes is meant to assist in
     the compliance of such regulations.


2.   Contractors Selection Criteria

     See the „Vetting & Selection of Contractors‟ section.


3.   Pre-requisites to Signing the Contract or Assigning Work
     Where appropriate, Risk Assessments and method statements must be written
     and agreed. All equipment and materials to be used on site must meet the
     appropriate health & safety standards including portable electrical equipment
     which should be maintained and tested as required by the Electricity at Work
     Regulations 1989.

     It is recommended that any portable tools should be 110 V DC with power supplied
     through a safety transformer, unless powered by a battery pack or petrol engine.
     All hand tools must be in good working order.

     Contractors‟ vehicles must be parked only in authorised places.

     Attached at Appendix H is a copy of a letter from Corporate Property reminding
     contractors of the requirement to complete risk assessments.

4.   Commencement of the Contract

     A pre-contract meeting must be held before commencement of the contract where
     Health & Safety must be an agenda item .




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                          KCC Working Rules for Contractors on Site


5.   Safe Working Permit (Appendix F)

     This permit will be issued for Contractors:

     a)    employed by yourself,
     b)    if contractors specify a need for a permit under their Risk Assessment,
     c)    for all work where specific Risk Assessments are required (see below),
     d)    at the Manager‟s discretion.

     The Safe Working Permit should be issued by the recognised authorised person(s)
     and gives permission for a contractor to carry out works on site, and identifies
     areas where works will take place.

     The permit should be retained in a prominent but secure location for the duration
     of the works.

     Following a general Risk Assessment, specific Risk Assessments are required for
     the following:

           Any work where asbestos is present, or suspected.
           Hot work, e.g. soldering, grinding, use of open flame.
           Roof working and working at height.
           Confined spaces.                                                   Refer to
           Breaking into pipes, e.g. service pipes.                           Safety Net
           Excavation.                                                        for further
                                                                               guidelines
           High voltage (work on equipment or presence of
            nearby cables).
           Lift maintenance.
           Gas work.

     Following completion of the work the permit should be filed together with other
     associated documents and retained for 3 years, or longer if deemed necessary.


6.   Safety Code for Contractors

     a)     Emergency Evacuation Procedure

     Upon receipt of the Safe Working Permit, the authorised person must pass to the
     contractor the following information:

           The location of the appropriate assembly point in the case of evacuations.
           The evacuation signal.
           The shortest route out of the building from the workplace to the open air and
            the location of alternative means of escape.
           How to raise the alarm.
           The all-clear signal and procedure for re-entering the building.
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                     KCC Working Rules for Contractors on Site




All contractors‟ personnel on site must be in possession of this information and it is
the responsibility of the Contractor‟s representative who signed the Safe Working
Permit to pass this information onto his employees.

When the evacuation signal is sounded:

1.     All welding apparatus, gas cylinders, machinery, etc must be turned off
       before leaving the site, if it is safe to do so.
2.     All contractors‟ personnel must leave the building immediately by the
       shortest route and report to their own Supervisor at the Assembly Point.
       The Supervisor will report their status to the Establishment Manager.
3.     Contractors‟ Supervisors are responsible for accounting for and confirming
       with the Establishment Manager that all their employees have left the site,
       or building.
4.     Contractors‟ employees must remain at the assembly point and not re-enter
       the building until instructed to do so by the Establishment Manager.
5.     Lifts must not be used.


b)     During Contract

             All accidents / incidents must be reported to the Establishment
              Manager immediately. This applies to injury to personnel and
              damage to equipment.
             Do not enter any areas you are not authorised to do so.
             Keep areas clean and tidy to prevent accidents.
             Do not leave items that could pose a fire risk next to existing
              buildings.
             Do not use site equipment or tools unless authorised.
             If the contract is being scheduled for implementation out of normal
              office hours you must arrange access with the Establishment
              Manager.
             Identification should be worn at all times.
             The person to be contacted within the establishment must be known
              by the Contractor.




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                         KCC Working Rules for Contractors on Site




     c)    End of Contract

           Thoroughly inspect site and remove:

                 All equipment
                 Any refuse or rubbish

     Clean the floor and any other surfaces of any substances which may be
     hazardous. A final inspection by the authorised person is to be carried out.


7.   When things go wrong

     If you consider that a contractor has failed to carry out works on the premises
     either professionally or competently then the KCC Property Group should be
     informed. This applies regardless of whether a one off job has been carried out or
     whether the work falls within a planned maintenance agreement. Please contact
     your regional KCC Property contact who will ensure that further action is taken to
     investigate the complaint, or if the complaint has already been investigated, to
     notify the contractor.

     Example – routine maintenance and inspection did not pick up two faulty fire
     alarms. The contractor is contacted and an investigation is carried out.

     Attached at Appendix I are sample letters which Property send on KCC‟s behalf to
     contractors who have failed to meet our requirements.




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                                                                                      APPENDIX A

  The Royal Institute of British Architects (RIBA) Plan of Work Stages
                                   1999

The RIBA Plan of Work is a robust process protocol which describes the activities from appraising
the client‟s requirements through to completion of construction. The stages are also used in the
appointing documents to help identify the architect‟s services.

A: Appraisal Identification of client‟s requirements and possible constraints on development.
Preparation of studies to enable the client to decide whether to proceed and to select probable
procurement method.

B: Strategic Briefing Preparation of Strategic Brief by, or on behalf of, the client confirming key
requirements and constraints. Identification of procedures, organisational structure and range of
consultants and others to be engaged for the project.

C: Outline Proposals. Commence development of strategic brief into full project brief.
Preparation of outline proposals and estimate of cost. Review of procurement route.

D: Detailed Proposals. Complete development of the project brief. Preparation of detailed
proposals. Application for full development control approval (application for planning permission
to KCC‟s Planning Application‟s Unit).

E: Final proposals. Preparation of final proposals for the Project sufficient for co-ordination of all
components and elements of the Project.

F: Production Information F1: Preparation of production information in sufficient detail to enable
a tender or tenders to be obtained. Application for statutory approvals, including Building
Regulations (nb. Schools are no longer exempt from the application of the Building Regulations).
F2: Preparation of further production information required under the building contract. (Now in
two parts, F1 – the production information sufficient to obtain tenders and F2 – the balance
required under the building contract to complete the information for construction).

G: Tender Documentation. Preparation and collation of tender documentation in sufficient detail
to enable a tender or tenders to be obtained for the construction of the Project. (Solely concerned
with the documentation required for tenders. Particularly useful with Design + Build or
management control).

H: Tender Action. Identification and evaluation of potential contractors and/or specialists for the
construction of the project.       Obtaining and appraising tenders and submission of
recommendations to the client.

J: Mobilisation. Letting the building contract, appointing the contractor. Issuing of production
information to the contractor. Arranging site handover to the contractor.

K: Construction to Practical Completion. Administration of the building contract up to and
including practical completion. Provision to the contractor of further information as and when
reasonably required.

L: After Practical Completion. Administration of the building contract after practical completion.
Making final inspections and settling the final account. (Clearly separated from the construction
phase).



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                                                                                       APPENDIX B


             Construction (Design & Management) Regulations 2007


It is the responsibility of every client to provide all known relevant information, about the
state or condition of the premises where construction work is to be undertaken.

The following guidance is intended to assist the client in the production of information,
which is relevant to the premises where construction work is to be undertaken.

Pre-construction information

1      Description of project

       (a)     a project description and programme details including:

               i.     key dates ((including planned start and finish of the construction phase),
                      and

               ii.    the minimum time to be allowed between appointment of the principal
                      contractor and instruction to commence work on site;

       (b)     details of client, designers, CDM co-ordinator and other consultants;

       (c)     whether or not the structure will be used as a workplace (in which case, the
               finished design will need to take account of the relevant requirements of the
               Workplace (Health, Safety and Welfare) Regulations 1992);

       (d)     extent and location of existing records and plans.

2      Client’s considerations and management requirements

       (a)     arrangements for:

               i.     planning for and managing the construction work, including any health and
                      safety goals for the project,
               ii.    communication and liaison between client and others,
               iii.   security of the site,
               iv.    welfare provision;

       (b)     requirements relating to the health and safety of the client’s employees or
               customers or those involved in the project such as:

               i.     site hoarding requirements,
               ii.    site transport arrangements or vehicle movement restrictions
               iii.   client permit-to-work systems,
               iv.    fire precautions,
               v.     emergency procedures and means of escape
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          vi.      ‘no-go’ areas or other authorisation requirements for those involved in the
                   project

          vii.     any areas the client has designated as confined spaces,
          viii.    smoking and parking restrictions

3   Environmental restrictions and existing on-site risks

    (a)   Safety hazards, including:

          i.      boundaries and access, including temporary access – for example narrow
                  streets, lack of parking, turning or storage space,

          ii.     any restrictions on deliveries or waste collection or storage,

          iii.    adjacent land uses – for example schools, railway lines or busy roads,

          iv.     existing storage of hazardous materials,

          v.      location of existing services particularly those that are concealed – water,
                  electricity, gas, etc,

          vi.     ground conditions, underground structures or water courses where this
                  might affect the safe use of plant, for example cranes, or the safety of
                  groundworks,

          vii.    information about existing structures – stability, structural form, fragile or
                  hazardous materials, anchorage points for fall arrest systems (particularly
                  where demolition is involved),

          viii.   previous structural modifications, including weakening or strengthening of
                  the structure (particularly where demolition is involved),

          ix.     fire damage, ground shrinkage, movement or poor maintenance which may
                  have adversely affected the structure,

          x.      any difficulties, relating to plant and equipment in the premises, such as
                  overhead gantries whose height restricts access,

          xi.     health and safety information contained in earlier design, construction or ‘as-
                  built’ drawings, such as details of pre-stressed or post-tensioned structures;

          (b)     health hazards, including:

          i.      asbestos, including results of surveys (particularly where demolition is
                  involved),

          ii.     existing storage of hazardous materials,

          iii.    contaminated land, including results of surveys,

          iv.     existing structures containing hazardous materials,

          v.      health risk arising from client’s activities

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4   Significant design and construction hazards

    (a)    significant design assumptions and suggested work methods, sequences or other
           control measures:

    (b)    arrangements for co-ordination of ongoing design work and handling design
          changes;

    (c)    information on significant risk identified during design;

    (d)    materials requiring particular precautions.

5   The health and safety file

    Description of its format and any conditions relating to its content.




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                                                                                                  APPENDIX C


Guidance for assessing competence of a CDM co-ordinator for a larger or more
complex project, or one with high or unusual risks.

Organisations do not have to produce all of the evidence listed in column 3 to satisfy the
standard – they simply need to produce enough evidence to show that they meet the
standard in column 2, taking account of the nature of the project and the risk which the
work entails. This requires you to make a judgement as to whether the evidence
provided meets the standard to be achieved. If your judgement is reasonable, and
clearly based on evidence provided, you will not be criticized if the company you
appoint subsequently proves not to be competent to carry out the work.

Remember that assessments should focus on the needs of the particular job and should
be proportionate to the risk arising from the work. Unnecessary bureaucracy
associated with competency assessment obscures the real issues and diverts
effort away from them.

Stage         Knowledge and experience standard        Field of knowledge and          Examples of attainment
                                                       experience                      which      should     indicate
                                                                                       competence
Stage 1       Task knowledge appropriate for the       The       design      and       Professionally Qualified to
              tasks to be undertaken. May be           construction process.           Chartered level (Note 1).
              technical or managerial                                                  Membership of a relevant
                                                                                       construction institution, for
                                                                                       example CIBSE; ICE; IEE;
                                                                                       IMechE;        IStructE;RIBA;
                                                                                       CIATE; CIOB.
              Health and safety knowledge              Health and       safety    in   Validated CPD in this field,
              sufficient to perform the task safely,   construction.                   and      typical    additional
              by identifying hazard and evaluating                                     qualification for example:
              the risk in order to protect self and                                    NEBOSH           Construction
              others, and to appreciate general                                        Certificate; Member of
              background.                                                              health and safety register
                                                                                       administered by the ICE
                                                                                       (Note 2); Membership of
                                                                                       Association for Project
                                                                                       Safety; Membership of
                                                                                       Institution of Construction
                                                                                       Safety       (formerly     the
                                                                                       Institution of       Planning
                                                                                       Supervisors).
Stage 2       Experience and ability sufficient to     Experience      relevant   to   Evidence of significant
              perform the task, (including where       the task.                       work on similar projects
              appropriate an appreciation of                                           with comparable hazards,
              constructability),   to   recognize                                      complexity                and
              personal limitations, task-related                                       procurement route.
              faults and errors and to identify
              appropriate actions.

Notes
          1      Chartered membership of a recognized construction-related institution.
          2      Open to any member of a construction-related institution




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                                                                                                                                                         APPENDIX D
                                                 Requirements of a CDM Notifiable Project

1. Client appoints                    3. Client appoints                  4. Client provides health                   8. Client selects            10. Client
competent CDMC                        competent designers                 & Safety information for                    competent                    reviews tenderers
                                                                          CDMC                                        tenderers                    H&S resources




                     2. CDM
                     Coordinator
                     ensures HSE                      5. CDM Coordinator
                     is notified of                   co-ordinates designers
                     project (F10)                    Health & Safety                            7. CDM Coordinator
                                                                                                 ensures pre-construction
                                                                                                 H&S info pack is
                                                                                                 prepared
                                                                                                                                          9. Tenderers
                                                                                                                                          submit H&S
                                                                                                                    12. CDM               information
CDM REGULATIONS                                                           6. Designers provide                      Coordinator           with tenders
                                                                                                                    ensures HSE is
Pre-Construction Phase                                                    CDMC with
                                                                          information on                            notified of
                                                                          residual hazards                          Principal
                                                                                                                    Contractor
                                                                                                                    appointment
                                                                                                                    (F10)

                                                                                                                                                11. Client appoints
                                                                                                                                                Principal
                                                                                                                                                Contractor


                        15. Client permits                             14. Client reviews                         13. Principal
                        work to commence                               Construction Phase                         Contractor prepares
                                                                       H&S Plan                                   initial Construction
                                                                                                                  phase H&S Plan


                                                                             Page 27 of 34                                                         Third Edition -
                                                            Page Management of Contractors: Guidance Notes and Forms                                August 2007
  16. Principal Contractor                   17. Principal Contractor              18. Principal Contractor   20. CDM Co-ordinator
  Co-ordinates H&S on site                   updates H&S Plan during               provides information for   ensures H&S File is
                                             the works and displays F10            H&S File                   prepared




                             22. Client keeps H&S File                            21.CDM Co-ordinator
                             available for inspection and                         ensures H&S File is
                             future use                                           delivered to Client




                                                                                                                  19. Designers
CDM REGULATIONS                                                                                                   provide information
                                                                                                                  for H&S File
Construction Phase




                                                           Page 28 of 34                                                 Third Edition -
                                          Management of Contractors : Guidance Notes and Forms                           August 2007
                                                                              APPENDIX E

                                     Pre-contract
                        Locally Employed Contractors Check List


Company Name:

Contact Name:


Questions                                   Yes   No    Comments
Does the contractor hold public liability               Date of renewal:
insurance? (£5m minimum)
Are you happy the contractor has
adequate financial standing to carry out
the works?
Does the contractor have a written
Health & Safety Policy?
Has the contractor been the subject of
any Health & Safety enforcement action
by HSE or anyone else?
Does the Contractor understand the
Management of Asbestos and KCC‟s
policy on Asbestos?
Has the contractor undergone any
Health & Safety Training?
Is the contractor a member of any Trade
Associations?
Does      the   contractor    have   an
Environmental Policy?
Does the Contractor operate a
complaints procedure?
Does the contractor understand current
legislation on the Management of
Waste?
Does the operative hold the correct
level of CORGI registration?
Is the Contractor IEE registered?
Are all operatives suitably qualified &
competent to do the work?
Do you have a system for vetting sub-
contractors for H&S practices

Date accepted to carry out works:____________________________

Accepted on behalf of client by:______________________________

Name:__________________________________________________

Position:________________________________________________

Signature:_________________________Date:__________________

It is recommended that a review is carried out on expiry of the contractor‟s insurance.

                                       Page 29 of 34                          Third Edition -
                       Management of Contractors : Guidance Notes and Forms    August 2007
                                                                    Kent County Council                                                                        APPENDIX F
                                                        Control of Contractors – Safe Working Permit

1. Issue                                                                                         Yes       No   2. Receipt
                                                             Has the contractor‟s risk
                                                             assessment been conducted?
I ………………………………………. (Block Capitals)                                                                             I ………………………………………. (Block Capitals)
being the officer in charge / duty holder, issue this        Has a premises risk assessment                     being the contractor agree the contents of this permit
„Permit‟ to:                                                 been conducted?                                    and accept responsibility for carrying out the work as
                                                                                                                detailed and will only allow those named to work
Company: ……………………………………………….                                 Has a copy of safety rules been                    accordingly.
                                                             provided to the contractor?
……………………………………………………………..
                                                              Has the contractor seen and                       3. Clearance
                                                              signed the asbestos register?
Name of contractor in charge of the work is                 *If the answer to any of the above is ‘no’ then     I DECLARE THAT THE WORK FOR WHICH THIS
                                                            work should not proceed and you should consult      Permit was issued is now
…………………………………………(Block Capitals)                            the Property Group for further advice.
                                                                                                                                 *Suspended / Completed
                                                                                                                                       (delete as required)
Supplementary labourers / sub contractors are:              NOTE: A separate specific risk assessment is
                                                            required for any work involving:                    that all persons have been withdrawn from the above
    Name of Person            Name of Company                Asbestos                                          work, that all gear, tools and materials have been
                                                             Hot working                                       removed and the area left in a safe condition.
                                                             Roof working and working from height
                                                             Confined spaces                                   Signed: ….……………………………………………..
                                                                                                                                  (from person named in „2‟)
                                                             Breaking into pipes
                                                             Excavation/ digging                               Date: ……………………… Time: …………………..
                                                             High voltage (seek specialist advice)
                                                             Lift maintenance work                             *Reason: ……………………………………………….
                                                             Gas work

                                                            This Permit is valid:                               4. Cancellation
                                                            From:
Location and details of work to be carried out:             Date: ……………………. Time: ………………………
                                                                                                                The Contractor’s Safe Working Permit and any
…………………………………………………………….                                                                                        associated permits are hereby cancelled.
                                                            Until:
                                                            Date: ……………………. Time: ………………………
…………………………………………………………….                                    (not exceeding 5 days)
                                                                                                                Signed: …………………………………………………
                                                                                                                (Being an authorised person or their representative to cancel
                                                                                                                a “Contractor Safe Working Permit”)
…………………………………………………………….                                    Signed: ………………………………………………….
                                                                                                                          Form to be retained by originator.
…………………………………………………………….                                    Date: ……………………. Time: ……………………..
P

        NO WORK SHOULD BE UNDERTAKEN UNLESS SECTIONS 1 AND 2 ARE COMPLETED                                                                                        Page 30   of 34
                                                                                                      APPENDIX G
                                       Management of Contractors



                Need for Contracted Work
                       Determined

                                                                          Seek Advice from Corporate Property.
                     Do you need help                                     NB. Strategic Planning and Transport
                      managing this                       Yes
                                                                          Operations should refer to “Kent
                          project                                         Highways CDM Flowchart”
                                   No
             Select Contractors (see Vetting &
                 Selection of Contractors)
                                                                              Either:
                                                                              a) Contact the Property Group for
                                                                                  the free vetting service,
                        Contractor                                            Or:
                       On Preferred                         No                b) Vet own contractor (see Vetting &
                       Contractors                                                Selection of Contractors and
                        Database                                                  Appendix E).


                                 Yes
                                                                                          Contractor                  No
           Conduct Risk Assessment and obtain                                               meets
            Method Statement as appropriate.                                             requirements
               (see Notes for Managers of
                    Establishments)
                                                            Yes



                            All
No                safety requirements &
                communication channels
                   have been agreed

                                 Yes

         Ensure induction takes place of contractors.
         Issue Safe working permit
         (see KCC Rules for Contractors on site and
                         appendix F)



                           Work
                                                            No                 Suspend work activity ensuring site
                         ongoing
                                                                                is left in safe condition.
                        satisfactory
                                                                               Seek further advice as appropriate.
                                 Yes

                           Work
                        completed
                                                            No
                       satisfactorily


                                 Yes
               Sign off Safe working permit

                                                  Page 31 of 34                                   Third Edition -
                         END            Management of Contractors : Guidance Notes and Forms        August 2007
                                                                                       APPENDIX H




Contractor address
                                                                      PROPERTY GROUP
                                                                      Sessions House
                                                                      County Hall
                                                                      Maidstone
                                                                      Kent ME14 1XQ

                                                           Direct Dial: (01622) 224348
                                                                Ask for:
                                                        e-mail address:
                                                                Our ref: TSTWAH-01
                                                                  Date:




Dear Sirs

Re: Contractors Risk Assessments.

We wish to remind Contractors of the need to undertake proper risk assessments prior to
starting any works on site.

There have been several incidents of contractors turning up on site to carry out repairs
without the necessary paperwork as set out in the KCC document “Management of
Contractors on Site” which has been issued to you and also your duties under the
Management of Health and Safety at Work Regulations (1999).

It is important that you show your risk assessment to your contact at the establishment before
you start work, so that any safety issues for occupants or contractors can be resolved, and
adequate control measures put in place. The Health and Safety Executive is paying close
attention to how contractors are working on KCC sites, following a number of serious
accidents that could have been prevented had proceedures been followed.

We would add if the required paperwork is not in place our sites will have the to right refuse
access at no cost to either them or the authority.

If you require a further copy of the “Management of Contractors on Site” document please
visit the website at – www.clusterweb.org.uk/docs/managing_contractors.pdf

Yours faithfully




Maintenance and Minor Works Manager




                                        Page 32 of 34                                  Third Edition -
                              Management of Contractors : Guidance Notes and Forms       August 2007
                                                                                    APPENDIX I (a)

                                                                    PROPERTY GROUP
                                                                    Sessions House
                                                                    County Hall
                                                                    Maidstone
                                                                    Kent ME14 1XQ
                                                                    Fax: (01622) 694117
                                                                  Tel: 08458 247247

                                                          Direct Dial: (01622) 696022 or ext 6022
                                                               Ask for:
                                                       e-mail address:
                                                               Our ref: PCD/HB/
                                                                 Date:



Dear Sir/Madam

Re: Kent County Council’s Preferred Contractor’s Database – Health and Safety Incident

With regards to (name of project) we are concerned to hear about the recent health and safety
incident which has been reported to (who in KCC) by (who has reported incident) (list details of
incidents and refer to regulation they are in breach of).

I would remind you that your responsibilities as (Principal Contractor/or if not CDM project,
Contractor in charge of the site) to have full responsibility of the safe management of the works.

We therefore have no option but to record this under your contractor‟s file on our database. If
repeated offences occur we will have no option but to review your position on the database.
Would you please send me a copy of your incident report for our consideration.

Yours faithfully




Contract Performance & Financial Monitoring Manager.




                                       Page 33 of 34                                Third Edition -
                      Management of Contractors : Guidance Notes and Forms           August 2007
                                                                                   APPENDIX I (b)

                                                                   PROPERTY GROUP
                                                                   Sessions House
                                                                   County Hall
                                                                   Maidstone
                                                                   Kent ME14 1XQ
                                                                   Fax:(01622) 694117
                                                                   Tel: 08458 247247

                                                          Direct Dial: (01622) 696022 or ext 6022
                                                     e-mail address:
                                                    Our ref:PCD/HB/:
                                                                Date:




Dear Sir/Madam

Re: KCC Preferred Contractor’s Database
Principal Contractor’s CDM Responsibilities – Breach of Regulations

With regards to (name of project) we are concerned about your roles and responsibilities where
CDM is concerned. From feedback with one of our consultants, (name of consultant) it would
appear that a number of issues have not been addressed: (list details of incidents and refer to
regulation they are in breach of).

I would remind you that where you have not complied with your Duties as a Principal Contractor,
this is in breach of the CDM Regulations. We therefore have no option but to record this under
your contractor‟s file on our database. If repeated offences occur we will have no option but to
review your position on the database.


Yours faithfully




Contract Performance & Financial Monitoring Manager




                                      Page 34 of 34                                Third Edition -
                     Management of Contractors : Guidance Notes and Forms           August 2007

								
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